RESETTLEMENT POLICY FRAMEWORK (RPF)

Road Asset Management Project (RAMP) Resettlement Policy Framework (RPF)

Works and Highways

Ministry of Public

(MPWH)

Road Maintenance Fund

Implementation Unit(RMFIU)

Ministry of Public Works and Highways (MPWH)

Road Maintenance Fund

Implementation Unit (RMFIU)

RESETTLEMENT

POLICY FRAMEWORK

(RPF)

Road Asset Management Project (RAMP)

Republic of Yemen

Public Disclosure Authorized

Public Disclosure Authorized

Public Disclosure Authorized

Public Disclosure Authorized

Republic of Yemen

Ministry of Public Works and Highways (MPWH)

Road Maintenance Fund

Implementation Unit (RMFIU)

Road Asset Management Project (RAMP)

RESETTLEMENT POLICY FRAMEWORK (RPF)

Draft Final

05 December 2012

TABLE OF CONTENTS

List of Abbreviations………3

Purpose and Structure of RAMP Resettlement Policy Framework (RPF)………4

I: RESETTLEMENT POLICY FRAMEWORK………...4

1.1 Project Specific Information ………..4

1.2 Key Elements of RPF………...…6

Policy Principles……….6

Policy Objectives………...7

Policy Coverage……….7

Process for Determining and Preparing Resettlement Plans……….7

Determining Impacts and Sequencing………7

Resettlement Instruments………...9

Resettlement Plans Preparation Considerations……….9

Steps for Preparing and Processing ARP/RAP………10

Estimated Population and Categories of PAPs………11

Land Ownership………...…12

Houses and Other Structures………12

Establishing Procedures and Eligibility Criteria………..13

Asset Valuation Method and Compensation………13

Organizational Responsibilities and Arrangements……….14

Implementation Process and Linkage to Civil Works……….18

Grievance Redress Mechanisms………..19

Sources of Financing for Resettlement………21

Consultation and Participation……….21

Monitoring and Evaluation Arrangements………..22

ANNEX A YEMENI LEGAL AND INSTITUTIONAL FRAMEWORK Main National Legislation Regulating Lands and Land Acquisition ..24

Land Acquisition Procedures………30

Institutional Arrangements……….………..30

ANNEX B GAPS BETWEEN YEMENI LEGISLATION AND THE WORLD BANK OP 4.12………34

ANNEX C SUMMARY OF COMMUNITY CONSULTATIONS .…………41

LIST OF ABBREVIATIONS

ARP ABBREVIATED RESETTLEMENT PLAN

BC BENEFICIARY COMMITTEE

DP DISPLACED PERSONS

EC ESTIMATION COMMITTEE

IR INVOLUNTARY RESETTLEMENT

LRC LOCAL RESETTLEMENT COMMITTEE

PAP PROJECT AFFECTED PEOPLES

RAP RESETTLEMENT ACTION PLAN

ROW RIGHT OF WAY

RP RESETTLEMENT PLAN

SFA SOCIAL FRAMEWORK AGREEMENT

Purpose and Structure of RAMP Resettlement Policy Framework (RPF)

The purpose of this policy framework is to clarify resettlement principles, organizational arrangements, and design criteria to be applied to subprojects to be prepared during the Road Asset Maintenance Project (RAMP) implementation. This RPF provides the framework for the implementation of the Operational Policy. Annexes A and B provide information which is important as reference in the formulation of any documents related to OP 4.12. These are: the Yemeni legal framework and institutions for land and property exploration and, possible gaps between OP 4.12 and Yemen laws.

The discussion of OP 4.12 and the RPF cover the following:

 a brief description of the project and components for which land acquisition and resettlement might be required, and an explanation of why a resettlement plan or an abbreviated plan as described cannot be prepared by project appraisal;

 principles and objectives governing resettlement preparation and implementation;

 a description of the process for preparing and approving resettlement plan,  estimated population displacement and likely categories of displaced persons,

to the extent possible;

 eligibility criteria for defining various categories of displaced persons;  methods of valuing affected assets;

 organizational procedures for delivery of entitlements,

 a description of the implementation process- linking resettlement implementation to RAMP civil works;

 a description of grievance redress mechanisms;

 a description of the arrangements for funding resettlement, including the preparation and review of cost estimate, the flow of fund and, contingency arrangements;

 a description of mechanisms for consultations with, and participation of, displaced persons in planning, implementing, and monitoring;

 arrangements for monitoring by implementing agency and, if required, by independent monitors;

Annex A focuses on Yemeni legal and institutional frameworks for land acquisition and property expropriation.

Annex B identifies gaps between the two systems and points to practical project specific actions that may be considered by the Bank team and the RMF staff.

RESETTLEMENT POLICY FRAMEWORK 1.1 PROJECT SPECIFIC INFORMATION

1.1.1 Project Background

The main thrust of the Road Asset Maintenance Project (RAMP) is the financing of regular road maintenance through several network-wide term maintenance contracts. The project will bring about a considerable expansion of the road network in Yemen under annual regular maintenance and would build on experience from the Second Rural Access Project (RAP2) currently financed by the World Bank, and will mainstream the contracting out of maintenance of paved roads in Yemen in four governorates: Hodeidah, Ibb, Taiz and Lahj.

The project will seek to ensure sustainability of these efforts through broad involvement of the private contracting industry in maintenance management, while creating local employment through small-scale labor-intensive maintenance activities.

1.1.2 Project Components

Component 1: Road Maintenance Works (US$34.7 million equivalent). This component would finance the improvement of the road condition ( about 2,300 km total) in the Governorates of Al-Hodeidah, Ibb, Taiz, and Lahj in the form of regular and emergency road maintenance works through multi-year, fixed-term contracts with private contractors. The works would include repairs and routine maintenance of road networks including repairs to road surfacing and pavements, drainage improvements, restoration of shoulders and road furniture such as guardrails, road signs and marking. This component would also improve traffic safety by financing engineering improvements such as better road markings and signage, better and more appropriately positioned speed control measures in built-up areas, better crash barriers and the removal of other deficiencies that cause an accumulation of fatal and serious accidents.

Component 2: Institutional Support and Capacity Building (US$3.1 million equivalent). This component would finance activities to strengthen the RMF’s and MPWH’s capacity for road asset management, including axle load controls and installation of Information and Communication Technology (ICT) equipment and software. In addition, the component will finance a road sector public expenditure review and introduce a medium term budget framework to improve the road expenditure policies generally and efficiency of maintenance related expenditures in particular. Road safety training, strengthening of the planning and supervision units in MPWH, updating of the Road Master Plan, studying options for commercializing GCRB’s operations and limited road laboratory testing equipment would also be provide. This would be achieved through consultancy services and supply of computerized equipment and installation contracts. Necessary limited supply of vehicles to facilitate the strengthened role of these two entities as caretakers of the national road network would be financed by the RMF under its local budget. In addition, this component would support the establishment of a Public Private Partnership (PPP) unit in MPWH directly under the Minister to explore the potential for private-public partnerships in financing, operation and maintenance of new transport corridors.

Component 3 – Transport Sector Studies (US$2.20 million equivalent). This component would finance technical assistance to address deficiencies and inefficiencies in transport infrastructure provision, maintenance and operation, at the same time support preparation of investments with potentials for other donors’ financial support. This would include technical studies including feasibility and preliminary engineering as well as O&M studies to assess potentials of PPP in the transport sector in Yemen, including public transport and operation of Sana’a airport. The scope of this RPF document is limited primarily to Component 1

1.1.3 Project Development Objectives

The Project Development Objective is to improve road conditions in four governorates (Al-Hodeidah, Ibb, Taiz, and Lahj) and to strengthen the RMF capacity in road asset management. The proposed RAMP consists of three Components

1.1.4 Project Location and Potential Impacts

The proposed project will cover Hodeidah, Ibb, Taiz and Lahj governorates. Its roads maintenance works will stretch over considerable distances in the four governorates and run hundreds of kilometers and will involve many areas, villages and communities. The exact road alignments and impacts on livelihoods are not determined at this stage of project preparation. Exact alignments and project’s impacts on livelihoods can only be known when final engineering design is made available. However, it is important to note that the project is planning to undertake its maintenance works on existing roads which already have an established right-of-way (ROW). Although its civil work will mainly focus on road maintenance work, it is also anticipated that new land may need to be acquired for bypasses, curve straightening, or roadside improvements. The acquisition of new land is likely to be modest, but this may still affect some livelihoods.

The project’s resettlement impacts are generally expected to be confined within a fairly narrow “corridor of impact.” Mainly areas that are unsafe, where people are not permitted to occupy structures, carry out business activities, or cultivate land. The width of this corridor/alignment is not yet known. For purposes of resettlement planning, the corridor of impact includes the immediate safety zone and any areas that impact directly on people’s livelihoods.

1.1.5 The Purpose of the RPF

The exact roads alignment and project’s impact on livelihoods is unknown. In the absence of this information, it is not possible to prepare an Abbreviated Resettlement Plan (ARP) or Resettlement Action Plan (RAP). Because of this the purpose of the Resettlement Policy Framework (RPF) is to provide the guidelines for the formulation of either ARPs or RAPs as needed.

During project implementation and when subprojects’ final engineering designs are made available and, when it is determined that civil works will necessitate involuntary resettlement or involuntary land taking, the Road Maintenance Fund (RMF) in

consultation with the Bank would proceed and prepare ARP/RAP consistent with this RPF.

1.2 KEY ELEMENTS OF RPF

1.2.1 Principles and Objectives Governing Resettlement Preparation and Implementation

1.2.1.1 Policy Principles

The policy principle of OP 4.12 is to avoid involuntary resettlement where feasible by exploring alternatives. Involuntary Resettlement (IR) resulting from development projects will, if unmitigated, give rise to difficult economic, social, and environmental risks that may lead to a variety of unacceptable impacts including dismantling of production systems, impoverishment of people, relocation of displaced persons to environments that do not suit their skills, weakening of community institutions and social networks, dispersion of extended families and kin groups and loss of cultural identity. OP 4.12 is a road map for the identification, preparation, and implementation of Bank-funded programs with a focus on minimizing negative social and economic impacts on individuals and communities.

If IR is unavoidable, resettlement activities should be conceived and executed as sustainable development programs where displaced persons should be meaningfully considered. Resettlement programs should work to improve the livelihoods of the Project Affected Persons (PAPs). A well-designed resettlement programs may present good development opportunities. By providing proactive mitigation measures that will lead to sound resettlement planning, OP 4.12 is designed to ensure that PAPs are not negatively affected by World Bank-financed projects.

1.2.1.2 Policy Objectives

The overall objectives of the Bank’s policy on involuntary resettlement are:

 Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs;

 Where it cannot be feasibly avoided, resettlement activities should be conceived and executed as sustainable development program, providing sufficient investment resources to enable PAPs to share the project benefits. PAPs should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs and compensation measures; and

 PAPs should be assisted in improving their livelihoods and standards of living or at least in restoring them, in real terms, to pre-displacement levels or to levels prevailing prior to project implementation, whichever is higher.

1.2.1.3 Policy Coverage

The Bank policy on involuntary resettlement covers the direct economic and social impacts that both result from WB financed projects operation and are caused by:

 The involuntary taking of land resulting in relocation or loss of shelter, or loss of access to productive assets, or loss of sources of income or means of livelihood, whether or not the affected persons must move to another location; or,

 The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. This policy applies to all RAMP subproject(s) component(s) that may result in involuntary resettlement, regardless of the source of financing.

1.2.2 Process for Determining and Preparing Resettlement Plan 1.2.2.1 Determining Resettlement Impact and Sequencing

When a sub-project’s final engineering design is made available, the scale and severity of its impact on livelihoods will be assessed and determined by the RMF’s Environmental and Social Specialists. It is possible that access to natural resources might be restricted, land may be acquired and, livelihoods might be affected negatively. When these possibilities are apparent, the RMF will gather information on potential PAPs and their assets. The information will be used to: (i) determine the applicability of Operational Policy (OP) 4.12, (ii) identify potential PAPs and vulnerable groups in the project areas, (iii) establish baselines for evaluating income restoration measures and, (iv) design technically feasible and socially acceptable alternatives and resettlement plans.

This requires the RMF’s Environmental and Social Specialists to conduct studies to document existing conditions in the early stages of each subproject preparation, in consultation with the PAPs. These studies will include the following depending on specific situations and local contexts.

(a) Conduct a census survey covering:

 current occupants of the affected area by subproject to establish a basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance;  standard characteristics of displaced households, including a description of

production systems, labor, and household organization;

 baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the displaced population;

 the magnitude of the expected loss—total or partial—of assets, and the extent of displacement, physical or economic;

 information on vulnerable groups or persons;

 provisions to update information on the displaced people’s livelihoods and standards of living at regular intervals so that the latest information is available at the time of their displacement;

(b) Other studies may be required to better inform the reasons for specific actions: such as inventory of land assets and their categories, public infrastructure and social services etc.

It is very likely that subprojects’ final engineering designs may not be available at project start-up and may be completed in stages. This may prove difficult to conduct the study and determine subprojects’ impact on livelihoods. Given these challenges, the RMF in consultation with the Bank, will determine either to deliberately extend the census and surveys to:

 include the maximum envelope of project impact zone or;

 estimate the resettlement impact in the areas where the road maintenance may have impacts and conduct the census and socioeconomic survey subproject-by-subproject at a later date.

If the RMF chooses to present an initial ARP/RAP at appraisal on the basis of one of the above options, the initial ARP/RAP will likely to cover both the known and the unknown road alignments. In this case, the RMF will be required to update the initial ARP/RAP), presented at appraisal, and revise them at a later date.

If final engineering designs of subprojects are to be completed in stages, different activities related to planning and implementation of subprojects’ physical work and resettlement1 need to take place sequentially for any given stretch of corridor. RMF will carefully examine and coordinate these activities to avoid delays in subprojects’ resettlement activities that will hold up civil works or to prevent civil works from taking place on a stretch of corridor before appropriate resettlement activities are completed.

1.2.2.2 Resettlement Instruments

While this project does not anticipate works outside the existing right-of-way, however, if it is determined land acquisition is unavoidable option and OP 4.12 is applicable to RAMP subproject(s), the RMF will prepare Land Acquisition Plan (LAP) for each subproject and inform the Bank of the project intention to acquire land. Upon receiving this information the Bank team will weigh the scale and magnitude of subproject(s) impact on livelihood, advice the RMF on next action to be taken and, recommend the resettlement planning instruments to be used from the followings:

Resettlement Action Plan (RAP): The preparation of this planning instrument is dependent upon the scale and severity of impacts on livelihoods. A full RAP is required when: a) more than 200 individuals are affected; b) all of the PAPs lose more than 10 percent of any of their holdings; c) the remainder of their land is economically unviable; and (c) they have need for physical relocation.

Abbreviated Resettlement Action Plan (ARP): This planning instrument is prepared if the resettlement impacts are minor, Resettlement impacts are considered minor if: (a) RAMP displaces fewer than 200 people, (b) all of the PAPs lose less than 10 percent of their land, regardless of the number of PAPs; (c) the remainder of their land is economically viable; and (d) they have no need for physical relocation. An abbreviated plan covers the following minimum elements:

1. a census survey of displaced persons and valuation of assets;

2. description of compensation and other resettlement assistance to be provided;

3. consultations with displaced people about acceptable alternatives;

4. institutional responsibility for implementation and procedures for grievance redress;

5. arrangements for monitoring and implementation; and 6. a timetable and budget;

Process Framework (PF): The Process Framework is prepared if the operation of RAMP imposes restriction of access to legally designated parks or protected areas. If the project restricts access to common property or natural resources as a result of its activities, it is then imperative that the project prepare and submit a process framework as a condition for appraisal.

1.2.2.3 Resettlement Plans Preparation Considerations

If land acquisition becomes an unavoidable reality, the RMF will prepare ARP/ RAP2 that must be consistent with this RPF as well as the social context of the subproject(s) area(s). The followings are key resettlement preparation considerations:

RAMP subprojects with known corridor of impact: If there are subprojects with known corridors of impact at the time of project appraisal, it is imperative that RMF prepared ARP/RAP with full population census and an inventory of the assets to be acquired.

RAMP subprojects with corridor impact only partly known: If there are subprojects with corridors that can only partly be known at appraisal, the RMF is required to have an approved Resettlement Policy Framework for the entire project and ARP/RAP for those sections where the corridor is known. ARP/RAP must be presented later for sections where the corridor is unknown at the time of project appraisal.

RAMP impact corridor and alignment is not know: If the project’s preliminary

design identified only general corridors of impact by the time of project appraisal, precise identification and enumeration of potential PAPs and their assets cannot be undertaken by appraisal. In such circumstances:

 A RPF (this document as accepted by both the GoY and the Bank) will establish categories of entitlements to apply after precise identification and enumeration of potential PAPs.

 For segments of the project for which engineering specifications are available (and for all land to be acquired in the first year of the project), a full census of all potential PAPs and a detailed and complete inventory of land and assets to be acquired will be carried out and documented.

 For segments of the project for which engineering specifications are not fully known, a corridor of maximum impact to serve as the basis for a full census of all people possibly affected will be used,

The ARP/RAP for subsequent subprojects involving resettlement must be presented before the respective subprojects are approved for Bank financing. The RMF is responsible for “preparing a resettlement plans in accordance with this framework, for each sub-project giving rise to displacement, and furnishing it to the Bank for approval prior to implementation of the sub-project.

1.2.2.4 Steps for Preparing and Processing ARP/RAP

Preparing ARP/RAP entails systematic planning and coordination. It will involve screening and on the spot verification exercises, consulting people, reviewing documents, assessing and identifying capacities of implementing agencies, and building their capacities. The below diagram provides steps to be followed by RMF while preparing and processing its subprojects’ ARP/RAP.

1.2.3 Estimated Population of PAPs and Categories of PAPs

At this time it is not possible to estimate the probable extent of PAPS. However this RPF recommends that PAPs are categorized as:

(a) Individual persons affected by RAMP: an individual is affected when he/she is subject to loss of goods, property and or access to natural resources resulting from the project. For example, an individual who is cultivating land or owns a commercial or housing structure which is removed as a result of the project.

(b) Household affected by RAMP: a household is affected when one or several of its members are subject to loss of property, land or access to land or other income-generating activity as a result of the project

(c) Vulnerable households affected RAMP: a vulnerable household may have needs affected by the project which are different from most other households. They may concern (although it is unlikely in the Yemeni cultural context) such segments of the population as self-supporting women and elderly people

 In itial s oc ial a nd e nv iro nmen ta l. sc re en ing ,  I ni tial mult i-s ta ke ho lde r co ns ul ta tion s  D ec is ion o n ch oic es o f c or rido r R P F C en su s an d ba se lin e su rv ey A gr ee men t o n ca te go ries o f im pa ct s an d ap pr op riat e en tit le men ts  P re pa ra tion o f R P s: tim e-bound im plemen ta tion p lan fo r en tit le men ts  Fina l d es ign s, o n co rrido r o f im pa ct  D et ail ed o ve rv iew o f D P s w ith in c or rido r o f im pa ct  C on su lta tion s w ith D P s ab ou t t he p ro jec t; pr es en ta tion o n en tit le men ts a nd o pt ion s  R eg is tra tion a nd p re pa ra tion o f ide nt ity c ar ds  R ev is it D P s to d is cu ss a nd fina liz e op tion s  Is su an ce o f ide nt ity c ar ds  U pd at ing o f r es et tlemen t a ct ion plan  Impleme nt at ion o f r es et tlemen t ac tion p lan w ith in re le va nt co rrido r s eg men ts  R eloc at ion a nd a ss is ta nc e to D P ’s is c omple te d

STEP I STEP II STEP III

STEP IV

STEP V STEP VI STEP VII

Road Asset Maintenance Project (RAMP) Resettlement Planning and Processing Steps

Sub projects’ civil woks started

1.2.4 Eligibility Criteria

Since RAMP impacts are not yet known it is not possible to determine who is qualified or not qualified for compensation or assistance. Nonetheless, all PAPs who suffer complete or partial losses of assets or access to assets shall be eligible for some kind of assistance, according to their legal rights to the land, if it can be proven that they occupied the land before the claim cut-off date.

The Bank OP 4.12 specifically proposes the following three general categories for eligibility:

a) Those who have formal, legal rights to land, including customary and traditional rights, recognized under the laws of the country;

b) Those who have no formal legal rights to land at the time the census begins but have a claim to such land or assets, provided such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan; and

c) Those who have no recognizable legal right or claim to the land they occupy. Persons covered under (a), (b) and (c) above will be provided assistance under this Policy Framework if they occupy land or buildings prior to the cut-off date (which is the date the detailed census to identify affected persons begins.) Persons who encroach on the area after the cut-off date are not entitled to consideration or any form of resettlement assistance under this policy.

Eligibility for compensations will recognize private, customary or traditional rights as well as formal and informal contractual rights.

1.2.4.1 Land Ownership

As final engineering design and planning information becomes available, land ownership and severity of impact shall be used to determine compensations for resettlement entitlements. The type of ownership or claim, in combination with the severity of impact, determines the relevant resettlement entitlements, which are generally defined in proportion to the impact on PAPs.

1.2.4.2Ownership of Houses and other Structures

Owners of affected houses or other structures will be compensated in-kind at replacement cost, which is defined as the cost of the work required to replace the asset in its existing condition. The basic parameters generally used to determine the replacement cost shall be the size, standard and condition of existing asset. This, in addition to arrangements for providing the land on which the replacement structure will be built, will be stated in mutually signed Social Framework Agreement (SFA) that would be signed by the asset owner(s), the Chair of the Beneficiary Committee (BC) and the RAMPIU.

The SFA documents all land and property expropriations or donations made to the RAMP and its effect on livelihoods. The document states the exact amount of land taken, the value of the property and, the purpose for which the land and the property has been used by the owner. The SFA will clearly state the terms and conditions of agreement and would be signed prior to the start of any subproject(s) civil works. The role and responsibilities of the Beneficiary Committee is described under section 1.2.6.3 of this RPF. The committee will be composed of: (i) representative of PAPs, (ii) project engineer, (iii) SDO, (iv) a representative of land authority and, (v) a representative of local government.

The qualities, specifications and estimated cost for the new structure(s) shall be assessed by the design consultant and will be incorporated into the bidding documents.

1.2.4.3 Establishing Procedures and Eligibility Criteria

If RAMP requires resettlement planning to address adverse impact on livelihoods, the Road Maintenance Fund (RMF) will develop a procedure satisfactory to the Bank for establishing the criteria by which PAPs will be deemed eligible for compensation and other resettlement assistance. The procedure includes provisions for meaningful multi-stakeholders consultations with PAPs and PAP-communities, local authorities and relevant NGOs, and government agencies.

1.2.5 Asset Valuation Method and Compensations 1.2.5.1 Asset Valuation Method

Tangible assets: The valuation of losses in physical assets will be carried out by assessing the market value of the assets, if known, and estimating the replacement cost. Replacement cost is simply calculated as the cost of replacing the lost assets plus any transaction costs associated with bringing the asset to pre-displacement value.

Replacement cost will differ depending on the type of asset, as illustrated in Table below.

Replacement Cost for Tangible Assets

Asset Replacement Cost

Agricultural Land

Equals the pre-project or pre-displacement, whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes.

Houses / Other Structures

Equals the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors’ fees, plus the cost of any registration and transfer taxes.

Source: WB OP 4.12

Intangible assets: For intangible loses that cannot easily be valued in monetary terms (i.e. access to employment opportunities, public services, natural resources, social capital), the RAMP will attempt to establish access to equivalent resources and earning opportunities that are acceptable to the PAPs.

1.2.5.2Compensations

If OP 4.12 becomes applicable to the project, compensation will be provided to all individuals whose assets or access to assets is severely affected or damaged. The compensation for the loss of physical and non-physical assets will vary depending on the type of loss, severity of the loss, and eligibility of the PAPs. When land is acquired for a public interest project, fair compensation to the affected people is guaranteed in the constitution – for urban areas. The compensation level is determined by a Beneficiary Committee.

All PAPs will be entitled to compensation at replacement cost, at market value (at the entitlement cut-off date), for affected tangible assets. In accordance to local practice in-kind compensation can be considered as an option where the affected assets would be replaced with an asset of similar size, value, and quality.

In the rural areas the customary system of donating land for public interest projects is still being applied. No formal legislation exists with regard to land acquired for public interest projects in rural areas, and the process followed is based upon well-established traditional community-level systems where project affected persons donate land. Rural communities in Yemen have traditionally been solving land acquisition issues through consultation and internal dispute resolution arrangements. In many cases, the affected lands owners are expected to voluntarily donate the land needed for a public benefit project. However, the voluntary donation of land will have to take place within the context of a mutually accepted understanding and within the framework of the SFA. No cash compensation is involved. However, in-kind replacement for buildings and physical structures will be negotiated with the property owner.

To the extent possible the SFA should list the exact amount of land that is being taken or donated from each property owner. The document requires the signature by the landowner prior to project implementation. This provides documentation of the awareness and consent of landowners of the amount of his or her land used for the RAMP.

The SFA specifies the terms under which the voluntary donation of land is made. The terms in the SFA will be based on local traditional practices concerning private land donation for RAMP operation and specify any special terms or conditions related to the particular case, which are to be settled internally by community. Generally, these terms can include one of the following options:

a) The affected person freely donates the land to the community, or b) The community may allocate part of its land to the affected person.

The decision as to which type of compensation is used should be jointly agreed upon between the RAMP and the PAPs and shall be subject to the availability of replaceable assets. Moreover, development and resettlement transitional assistance needed to restore the livelihood and standard of living of PAPs to pre-project levels shall also be part of the compensation component of any resettlement plan (i.e. short-term jobs, subsistence support, moving allowance, salary maintenance, food assistance, etc).

Where compensation is paid – which is not the case of land donated for a project in the public interest – then compensation is paid just before the land is actually acquired. In the case of the RAMP implementation with phased sub-projects, the actual compensation and resettlement should not take place several years ahead of the construction phase of each segment of its subproject. The RMF will exercise care so that premature resettlement is avoided and construction works have started immediately after resettlement compensation is paid. These actions by RMF will help to avoid:

 Acquiring land and properties long before the land is actually required,

 People reoccupying the space required if too much time passes between resettlement and construction,

 Paying compensation or assistance several years before people actually moved or their land is acquired,

Compensation for losses in communal property shall only be in-kind for the community as a whole, and shall take the form of reconstruction of the affected or damaged facility (i.e. public school buildings, markets, etc.) to at least the same standard prior to the project’s implementation.

As part of the resettlement process, a compensation matrix will be prepared that identifies the expected negative impacts, the eligible persons for compensation, and the compensation policy that is to be applied.

1.2.6 Organizational Responsibilities and Arrangements 1.2.6.1 The Road Maintenance Fund (RMF)

Compliance to OP 4.12: The primary responsibility of RMF is to ensure resettlement planning is taking place for each sub project and make sure that that no civil works are undertaken on any stretch of the alignment before land acquisition for the respective stretch has been completed and compensation or assistance has been delivered according to an agreed RP/SFA.

Administrative Coordination: As project executing agency, RMF will be responsible for addressing issues of multijurisdictional planning and coordination, such as any public and private agencies in the four governorates. The RMF will establish suitable mechanisms to allocate responsibilities, including financial responsibilities and other measures needed for timely delivery of compensation and other assistance to PAPs. The RMF will also be responsible for preparing separate RPs for each jurisdiction with specific implementation plans for each. The organizational responsibilities and financial arrangements of each jurisdiction will be defined and agreed.

In addition to the overall responsibilities of planning and coordination, the RMF will also be responsible for conducting the following specific tasks:

 Screening the project activities to check if any activity will result in land acquisition and involuntary resettlement;

 Hiring resettlement consultant for the preparation of the RAP/ ARP;  Preparing the ToRs for the Local Resettlement Committee;

 Following up on the formation of the different committees stated in this RPF;  Ensuring the interest of PAPs, particularly the vulnerable groups, are well

addressed by the RAP/ARP and the SFA;

 Preparing and submitting RAP/ARP for WB approval;  Facilitating the different consultation activities;

 Participating in responding to the grievance and work toward solving related issues;

 Overseeing/monitoring the progress in resettlement policy, resettlement preparation and implementation through reviewing regular progress reports;  Reporting regularly to the WB on compliance to OP 4.12 and when relevant

on resettlement activities (RAP/ ARP implementation);

 Keeping records and documentation and ensure data compilation in a way that facilities the task of Bank’s supervision and the external monitoring activities (e.g. grievance process and action taken);

 Participating in preparing the external monitoring consultant ToRs according to the WB standards;

 Reviewing the external monitoring report.

1.2.6 2 Local Authorities (Local Councils)

The respective of Local Councils in the four governorates are the key governmental authorities of relevance to the execution of the resettlement programs. Their responsibilities in the RAP/ARP execution should involve:

 Coordinating with other governmental organizations of relevance to the resettlement program;

 Following up on the resettlement process;

 Following up on the on compensations and the provision of the development assistance;

 Ensuring that PAPs are consulted and their concerns and interests are considered; and

 Through participation in the grievance resolution process, play a role in facilitating responsiveness to the PAPs concerns.

1.2.6.3 Beneficiary Committee

Based on the census information, the Beneficiary Committee will:

 determine the terms and procedures of land donation/acquisition or in-kind replacement of structures;

 ensure that these terms and procedures are specified in Resettlement Plans (ARP/RAP), are consistent with OP 4.12, and appended to the SFA;

 Ensure that the SFA are negotiated consistent with OP 4.12 and the applicable customary practices; signed by the owner, witness and BC and; approved by the governor;

 Ensure implementation of terms of the donation as stated by SFA;

 Ensure that in-kind asset replacement are in accordance with customary law, OP 4.12 policy principles and as per agreement stated in the SFA;

 Work with RAMP to ensure that in-kind asset replacement cost are captured as project cost,

 Ensure and coordinate with RMF that the contractor rebuild the affected structure or asset according to a specified standard and at the agreed location;

1.2.6.4 The World Bank

The Bank may, at GOY’s request, support RMF by providing assistance to:

 Assess and strengthen resettlement policies, strategies, legal frameworks, and specific plans;

 Prepare and review Resettlement Policy Framework (RPF) and Resettlement Planning;

 Strengthen the capacities of agencies responsible for resettlement, or of affected people to participate more effectively in resettlement operations;  Develop resettlement policies, strategies, and specific plans, and for

implementation, monitoring, and evaluation of resettlement activities; and  Finance the investment cost of resettlement.

Along the RAP/ARP cycle, the Bank is also responsible for:

 Screening and verifying findings and advice on the need for RAP/ARP and whether or not other remedial actions need to be taken;

 Approving the RAP/ARP prior to the execution of sub-projects or expropriation activities;

 Contracting the external monitoring consultant; and

1.2.6.5 Non Governmental Organizations (NGOs)

NGOs are key players that should be involved to ensure the efficiency of the resettlement activities. NGOs are also recommended to participate in:

 Coordination for the provision of supporting facilities/loans/ employment/capacity building programs, etc. based on the PAPs’ needs;  Facilitation of access to the most vulnerable groups and ensuring fair

representation of different social subgroups (e.g. women, youth, children, etc.); and

1.2.6.6 External Consultant(s)

The input of an external consultant will be required if the need arises for the preparation of a full RAP/ARP. The consultant will be needed to assist in the following issues:

Resettlement and Capacity Building

 Assist RMF in the preparation of the RAP/ARP, particularly designing and applying the socio-economic survey; and

 Prepare training materials and provide the training to BC members on legislative issues related to resettlement (particularly OP 4.12) as well as methods for engaging and consulting stakeholders (particularly PAPs) and monitoring techniques, and evaluate the training outcome.

Monitoring and Evaluation (M&E)

 Verify that project activities have been effectively completed with respect to quantity, quality and timeliness;

 Assess whether and how well these activities are achieving the stated goals and purpose of the project;

 Design monitoring tools;

 Carry out all the field surveys, investigation activities and stakeholders consultations as part of the monitoring process; and

 Review monthly and quarterly monitoring reports and other secondary data.

1.2.7 Implementation Process and Linkage to Civil Works 1.2.7.1 Linking Resettlement Implementation to Civil Works

PAPs will need to be compensated or their assets replaced before civil work can begin. The compensation shall be done in accordance with this Resettlement Policy Framework and subsequent resettlement and compensation plan(s).

For activities involving land acquisition or loss, denial or restriction to access of resources, the RMF will make adequate provisions for compensation and for other assistance prior to the actual displacement and relocation. Assistance includes provision and preparation of resettlement sites with adequate facilities.

In particular, land and related assets for RAMP activities may be taken only after compensation has been made and resettlement sites and moving allowances have been provided to the PAPs. For activities requiring relocation or resulting in loss of shelter, the project will take measures to ensure that the PAPs are assisted and the

In the “Implementation Schedule” of the ARP or RAP, details on resettlement and compensations must be provided. The schedule for the implementation of activities, as agreed by SFA between the RMF and PAPs must include:

 Size and type of land and property acquired by the project from each PAP;  Target dates for start and completion of civil works;

 Timetables for transfers of completed civil works to PAPs;

 Dates of possession of land that PAPs are using (this date must be after transfer date for completed civil works to PAPs and for payments of all compensations); and

 The link between RAP activities to the implementation of the overall RAMP. When approving recommendation for resettlement during screening, in compliance with this policy framework, the PAPs must confirm that the resettlement plans contain acceptable measures that link resettlement activities to the project’s civil works. Proper timing and coordination measures will ensure that no affected persons will be displaced (economically or physically) due to civil works activity. Compensation is made in full before any of the RAMP activity can begin.

1.2.7.2 Cut-off Date, General Information and, Phased Action

If land and asset acquisition are required, the RMF will:

a) Establish the cut-off date and carry out a census to identify PAPs;

b) Generate information about the PAPs, their entitlements regarding compensation, resettlement and rehabilitation assistance as required;

c) Identify disturbances, especially those affecting income-earning activities, and properly recording compensation or asset replacement; and

d) Prepare a time phased action plan with a budget and making provision of compensation, resettlement, and other assistance as required, based on the census and inventory of losses, and in consultation with the PAPs.

The RMF and its Social Development Officer (SDO) shall ensure that following the census, ARP or RAP is prepared for RAMP activity that requires resettlement. The RMF may employ a private consultant to provide valuation services required for the ARP or RAP. This assignment shall be financed by the project.

In case the project operation requires major involuntary resettlement planning, approval of the new pieces of land to be used for resettlement shall be sought from the Government of Yemen in consultation with local communities and affected individuals.

To ensure transparency of procedures, the PAPs shall be informed of the method of valuation used to assess their assets. All compensation, resettlement assistance and rehabilitation assistance, as the case may be, shall be made in the presence of the PAPs in question and the local leaders.

1.2.7.3 Timeframes

No civil work starts unless all compensations are made in full. The following key timeframes shall apply unless otherwise agreed between the RMF, BC and local government, the Resettlement Committee and the PAPs:

 Site screening will have to be conducted at early stage of project identification;

 In a case of major involuntary resettlement, asset inventory shall be completed at most four months prior to the commencement of civil work;

 The resettlement plan shall be submitted to RMF and the WB for approval immediately after completion of asset inventory; and

 That civil works shall commence after compensation, resettlement and rehabilitation activities have been affected.

Timeframes shall be drawn up and agreed upon by all parties including the PAPs. Compensations or asset replacement for acquired land, affected assets and resettlement of households must be completed as a condition for the taking away of land and before commencement of the civil works.

Where relevant and in the case of full resettlement, adequate time and attention shall be allowed for consultation of both the PAPs and host communities before bringing in the newcomers. The actual length of time will depend on the extent of the resettlement and compensation and will have to be agreed upon by all parties.

1.2.8 Mechanisms to address Grievances 1.2.8.1 Objective of Grievance Redress

The objective of the mechanism to address grievances is to solve disputes at the earliest possible time, which will be in the interest of all parties concerned. The mechanism should discourage referring matters to a court for resolution.

Grievances should be addressed by traditional and tribal institutions or special committees might be formed as an independent mechanism for the purpose of receiving and responding to grievance in order to ensure that PAPs’ grievances are treated fairly and timely. Minutes of the grievances and their proposed solutions should document the process.

PAPs can file complaints in case of: (i) non-fulfillment of contracts or agreements, (ii) compensation entitlement, (iii) types and levels of compensation, (iv) compensation policy, acquisition / destruction of land or assets, and (v) resettlement, or development or transitional assistance.

If the grievances or other disputes cannot be resolved through customary arrangements and administrative actions, the PAPs can initiate legal proceedings in accordance with provincial and national law (Article 51 of the Yemeni Constitution3) and have recourse to the Appellate Courts and the Supreme Court and the processes depicted by the below diagram can be adopted by the RMF within the context of local practices.

It is strongly recommended that in order to minimize the cases that are taken to the court and avoid long and tiring litigation, the local social context is carefully considered and Yemeni customary law consistent with OP 4.12 is followed. The role of traditional institutions in resolving disputes through mediation, customary tribal arbitration, and mutual accord is important in Yemen. Customary laws in tribal areas are strong and effective in resolving rural land disputes. It is anticipated that the traditional structure in the four governorates will play similar role in resolving land issues that might arise between the RAMP and beneficiary communities.

It is also important to keep in mind that the RAMP collects and review status of grievances (in coordination with the representative local public official) monthly and the RMF should also play a role in facilitating the response to these grievances. Particular attention will be paid to vulnerable groups.

1.2.9 Sources of Financing for Funding Resettlement

If OP 4.12 becomes applicable to RAMP, realistic cost estimates shall be calculated based on the data collected from the socio-economic survey on the estimated number of PAPs that are likely to be affected by the subprojects and the quantity and types of affected assets. Local Administration Local/Community Leader PMU Or Contractor Land/ property owner Beneficiary Committee: inform, negotiate and,

decide

If agreement is reached between the two parties, the SFA/ARP is signed and civil work proceed

In not satisfied with BC, the affected person files his grievance to local leader and seeks remedy through customary law

RMF

Local leader respond to grievance with 14 days

In not satisfied with LL, the affected person files his grievance to RMF LA will attempt to

resolve the problem within 14 days RMF in collaboration with District Administration will attempt to resolve the issue

Court of Law

If not resolved at LA level the case moves to RMF and District Administration. Should grievance remain unresolved it is referred to the Court of Law

Pr o ce d u re s

ROAD ASSET MAINTENANCE PROJECT (RAMP)

The consultant in charge of the RAP/ ARP preparation shall consider that the budget should include all of the anticipated impacts under the subproject and calculate the cost (compensation, administrative costs and monitoring, support assistance, etc.) according to actual replacement costs (at market value). The RMF is responsible for any compensation for land acquisition as well as any capacity building activities done as part of the RAP/ARP process.

1.2.10 Consultation and Participation

Community consultation and participation will be undertaken from the planning stage to implementation and monitoring phases of RAMP. Consultations and participations shall be mandatory for all RAMP components requiring: a) land acquisition, b) compensation and, c) asset/property replacement.

1.2.10.1 Notification Procedure

The RAMP, through its Implementation Unit, shall use the appropriate communication method to notify potential PAPs of its intention to acquire land assigned for its subproject(s).

The notice shall state:

a) Government’s proposal to acquire the land; b) The RAMP purpose for which the land is needed;

c) That the proposal or plan may be inspected by RMF or the offices of the local authorities in the project district, during working hours; d) That any person affected may, by written notice, object to the

transaction giving reasons for doing so, to the RAMPIU staff (namely the SDO) with copies to the local authorities;

f) The objection must be filed within 14 days of the first public announcement or appearance of the notice;

g) RAMPIU will ensure that affected persons have actually received this information and notification ahead of time.

1.2.10.2 Public Consultation Mechanisms

Public consultation and participation will be an essential feature of RAMP. The project will use public consultation as a platform for providing an opportunity to inform its project beneficiaries and other key stakeholders. RAMPIU will use public consultation and participation to create sense of ownership for the project.

The consultation mechanism will be devised with the aim of providing people with an opportunity to present their views and values. It will encourage discussion on and consideration of sensitive social and economic mitigation measures and potential trade-offs.

The RAMP public consultation shall be an on-going activity taking place throughout the entire project cycle. Hence, public consultation shall take place during the:

 Project inception and planning;  Screening process;

 Compensation planning;

 Payment of compensations;  Resettlement activities if any; and

 Implementation of after-project community support activities.

Public consultation will afford PAPs an opportunity to participate and contribute to both the design and implementation of its subprojects. Particular attention shall be paid to public consultation with PAPs, households and homesteads, and host communities when resettlement and compensation concerns are involved and when resettlement is unavoidable option. In so doing, the likelihood for conflicts will be reduced.

Public consultation and participation shall take place through local meetings, radio and television, request for written proposals/comments, completion of questionnaires/application forms, public readings and explanations of the RAMP ideas and requirements as it may be appropriate.

The RAMP public consultation measures shall take into account the low literacy levels prevalent in the rural communities, by allowing enough time for discussions, consultations, questions, and feedback.

The project’s public documents shall be made available in English and Arabic at the national, local and homestead levels and at suitable locations including the official residences/offices of village governments and village elders.

1.2.11 Monitoring and Evaluation Arrangements

Monitoring and Evaluation (M&E) are key components of the RAP/ARP and have the following objectives:

 Monitoring of specific situations or difficulties arising from implementation and compliance with the objectives and methods set out in the RAP/ARP;  Evaluation of medium and long-term impacts of compensation and or

resettlement on affected households’ livelihood, environment, local capacities and economic development.

In carrying out all activities related to monitoring, evaluation and supervision, consideration will be given to the vulnerability issues. Vulnerable groups should be consulted during the monitoring process in order to ensure that their concerns are handled fairly.

Regular supervision and monitoring of compliance to OP 4.12 will be conducted internally, by the RMF, Bank team, as well as externally, by an independent monitoring agency hired by the WB.

1.2.11.1 Internal Monitoring

Internal monitoring to ensure compliance with OP 4.12 policy objectives and principles will be the responsibility of the RMF. The RMF will oversee compliance with OP 4.12, the implementation of all relevant mitigation and grievance measures and shall report progress to the Bank through regular progress reports.

The RMF should collect information every month from the RAMP. A database of compensation/ resettlement monitoring information should be established and updated as relevant when new subprojects are to be undertaken. Quarterly internal monitoring reports should be prepared by the RMF and submitted to the WB.

A wide range of tools could serve for monitoring purposes. The previously mentioned socio-economic survey can serve as a participatory tool for defining monitoring indicators. Moreover, periodic Participatory Rapid Appraisals (PRA) will allow consulting with the various stakeholders (local government, Local Committees, NGOs, community leaders and PAPs). They will involve obtaining information, identifying problems and finding solutions through participatory means, which may include key informant interviews, focus group discussions (FGD), community public meetings, structured direct field observation, and in-depth case studies of problems or success stories.

1.2.11.2 External Monitoring

In accordance with WB requirements, the RMF should hire an organization for the independent monitoring and evaluation of RAP/ARP implementation where there is either land acquisition, compensation, or actual resettlement. . The organization should be specialized in social sciences and experienced in resettlement monitoring. The organization should start its work as soon as the updated ARP/RAP has been approved.

The rationale behind hiring an external institution is to ensure that the overall objectives of OP4.12 are carried out in an equitable and transparent manner. In addition to reviewing the issues covered by the internal monitoring progress report, the external agency shall also evaluate and assess:

 The competence and effectiveness of the RMF;

 Adequacy of compensation, development and transitional assistance techniques provided for the PAPs;

 Ability to reach the most vulnerable PAPs;

 Consultation and public disclosure of the RAP; and  Effectiveness of the grievance redresses mechanism.

Evaluation, however, is intended to ensure that policies (both Yemeni and the WB’s) have been adhered to and provide the feedback needed for adjusting strategic directions. Evaluation, thus, has the following objectives:

 General assessment of the compliance of resettlement activities with the objectives and methods as set out in this RPF;

 Assessment of the compliance of resettlement activities with the laws, regulations and safeguard policies cited above;

 Assessment of resettlement and relocation procedures as they have been implemented;

 Evaluation of the impact resettlement and relocation has on incomes and standard of living, with the focus on the poor and the most vulnerable; and  Identification of actions to improve the positive impacts of the program and

While carrying out the evaluation process, the project will utilize:  This RPF as the guiding instrument;

 Yemeni laws and regulations including customary law, and,  The World Bank’s OP 4.12 on Involuntary Resettlement.

The evaluation of resettlement activities will be part of the general assessment and review of activities undertaken for the RAMP as a whole.

ANNEX A: YEMENI LEGAL AND INSTITUTIONAL FRAMEWORK Main National Legislations and Institutions Regulating Land Acquisition

Yemeni Legislation includes several provisions that regulate the process of declaring land plots for public interest, the provisions for expropriation and compensation and the definition of rights of owners and use of communal property. The key subjects related to land property and land acquisition and the main pieces of Yemeni legislation that deal with them are summarized in box below:

Land Acquisition and the Yemeni Relevant Laws4

Public Ownership

Yemeni Constitution, Article 18 , 19 and Civil Law, Articles 118, 119, 120

Private Property

Yemeni Constitution, Article 7 , 20 and Civil Law, Articles 1154, 1159

Common Use of Land

Law no 21 of 1995 concerning State Land and Real Estate and The Republican Decree 170, 1996

Waqf / Endowment Land

Waqf Law no 23 year 1992 and The Republican Decree 99, 1996

Agriculture Land

Yemeni Constitution, Article 7, para (C) and Civil Law, Articles 761, 765, 770, 1159

Neighborhood Rights

Civil Law, Articles 1161, 1163, 1164

Squatters

Law no 21 of 1995 concerning State Land and Real Estate, Articles 58, 59

Land acquisition for the public interest

Law no 1 of 1995 (The Public Eminent Domain Law)

 Articles 1, 2 (defining projects for public interest)

 Article 4 on the administrative procedures for land acquisition

 Article 6 on the mutually agreed procedures for land acquisition

 Article 7 on the judicial procedures for land acquisition

 Articles 12 – 16 on temporary acquisition Articles 21, 27 provisions for land acquisition

Land Ownership and Categorization within the Yemeni Law

Land ownership is based mainly on the principles of Islamic law (Shari’a law). The main types of land are discussed below.

Privately Owned Land

Privately owned land (mulk), covers all lands held in private ownership, urban or rural, which is neither waqf (inalienable religious endowment or trust) nor miri (state owned land). It is subject to Sharia Law which dictates that the direct descendants of the rightful owner will inherit the land on the death of the owner, and if this is not possible others in the agnatic line may inherit it. Private land may be Freehold, in which case certain interests are owned in perpetuity, or Leasehold, where certain interests are for a specific period.

Privately owned land is administered under customary law through a "Title Deed" or other contractual document signed by a religious authority or a sheikh. While this practice provides for the availability of information on tenure, boundaries and other features, there is often conflict between these documents and the details shown in cadastral records. Private land property is also governed by the Constitution and the Civil Law as indicated below:

Yemeni Legislations Governing Private Land Property

Constitution

Article 20 Public appropriation of property is forbidden. Private appropriation is unlawful without judicial decision.

“Private property shall be respected and protected. Actions

Article 7 Paragraph (c)

contrary to what have been stated will be taken if and only if it is absolutely necessary and is in the best common interest and against fair compensation in accordance with the Law.”

Civil Law

Article 1159. The article does not give the right to anyone to deprive any other of his property except in accordance with the provisions of jurisprudence and the procedures described therein, and against fair compensation in accordance with the law.

Article 1154. “Only the owner of the entity can benefit from it, use it and exploit it as he wishes but within the limits of the provisions of the Jurisprudence laws.”

However, the practical application to private land management issues confronts many challenges including:

 No full inventory of privately owned land exists;

 The growing confusion over communal land and the privately owned land which result in lack of clarity and conflict;

 There is a trend toward increasing private appropriation of communal land;  The overlapping responsibilities between the locally-based traditional systems

and the central government;

 The intervention of central government;

 There is little public confidence in the Land Registry, mainly in the rural areas where owners depends on local community leaders for obtaining documents / deeds, which is the base for non-registered land, and Sheiks who are the prime beneficiaries of land conflict cannot be neutral arbitrators; and

 An ineffective court system overburdened with land conflict cases and the absence of defined classifications for the issues related to land acquisition in the Civil Law.